DFX Intelligence

P•••• F•••••••• C•••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

P•••• F•••••••• C•••••••

P•••• INVESTMENT MANAGEMENT, INC., CRD 159382

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Search this name across graphsid dfx:ria:05787435-6f53-6b07-5e58-8c06bd70e2c4

Data as of Jan 9, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Dec 9, 2011 to Jan 9, 2023
7 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 2
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••••• D••••• T••••	PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	11/2011	Dec 9, 2011	Jan 9, 2023

Relationships

Controls (1)

← H••••••• D••••• T••••OwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Dec 9, 2011 to presentfactForm ADV

Registered with (5)

← D•••• T•••• H••••••Advisorregistration: previous registration
Jan 13, 2012 to Jun 22, 2022factForm ADV
← Bryan Hugh PepperAdvisorregistration: previous registration
Jul 6, 2020 to Jul 13, 2021factForm ADV
← William Luhrs

Dated events

Occurred
Jan 9, 2023
First Form ADV filing
P•••• F•••••••• C••••••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago
Occurred
Jan 9, 2023
Control person left
Ann Patricia Lloyd (Vice President And Chief Compliance Officer) no longer on Schedule A of P•••• F•••••••• C••••••• (listed 2012-05-21, absent 2023-01-09)
Form ADVobserved 7 days ago
Occurred
Jun 22, 2022
Advisor changed firm
David Tyler Heymann left P•••• F•••••••• C••••••• for First Allied Advisory Services, Inc. (registered 2014-02-26)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:05787435-6f53-6b07-5e58-8c06bd70e2c4
First observed: Dec 9, 2011
Last observed: Jan 9, 2023 45 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.